- Citigroup (New York, NY)
- …to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services + Adhere to all policies and procedures as defined by your role ... which will be communicated to you + Obtain and maintain all registrations/licenses which are required for your role, within the appropriate timeframe + Appropriately assess risk when business decisions are made, demonstrating particular consideration for the… more
- JPMorgan Chase (New York, NY)
- …using data-driven analysis. **Required Qualifications, Capabilities, and Skills** + Rates ( Securities and/or Derivatives) knowledge and experience is a must. + ... Commercial mindset with excellent communication skills and be part of a team. + Experience in leading and building client facing products. + Preferably a background in Rates, Technology, or electronic product development. + Ability to organize and analyze… more
- NBT Bank (Williamsville, NY)
- …Abilities: + Thorough knowledge of investment and insurance products and applicable securities and insurance rules and regulations + Strong communication and PC ... skills + No significant compliance issues + Has developed a process for client segmentation + Demonstrated team player and high quality service provider + Advanced knowledge of all broker dealer advisory platforms Unique Job Characteristics and Requirements:… more
- Citigroup (New York, NY)
- …to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services; and ensure that all team members understand the need to do the same ... * Adhere to all policies and procedures as defined by your role which will be communicated to you * Obtain and maintain all registrations/licenses which are required for your role, within the appropriate timeframe * Appropriately assess risk when business… more
- DuPont (Buffalo, NY)
- …and effectiveness of Form 10 registration statements with the US Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of ... financing. _ _For further discussion of risks, uncertainties and assumptions that could impact the achievement, expected timing and intended benefits of the separation transactions, see DuPont's_ _announcement… more
- JPMorgan Chase (Brooklyn, NY)
- …access to markets globally for settlements, safekeeping and asset servicing of securities , along with ancillary services such as Foreign Exchange and Liquidity ... Solutions. This product suite, along with our Markets business, helps service our core client segments: Asset Managers, Asset Owners, Insurance/GSEs, Banks/Broker Dealers and Hedge Funds and Alternatives. You will be committed to delivering investor solutions… more
- MUFG (New York, NY)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- MUFG (New York, NY)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- MUFG (New York, NY)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- MUFG (New York, NY)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more